the course of its review on the financial statements, or any cases where the benefit of the securities holders, investment decision, or price of the securities might be impacted, the SEC will order the
4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an approval by the SEC.in which must not has significant impact to the mutual fund
4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an approval by the SEC.in which must not has significant impact to the mutual fund
years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important information which might affect the qualifications of the company is concealed
The licensee to operate securities business in the category of investment advisory service shall commence securities business operation after the SEC Office, having completed its inspection, is of the
Association Associations related to securities businesses Summary of major provisions in supervising the related associations The SEC has the power to make an order for the directors or members to clarify
in form specified in the SEC’s Notification as published in the Government Gazette. Clause 11 The licensee to operate securities business in the category of private fund management shall commence
in form specified in the SEC’s Notification. Clause 10 The licensee to operate securities business in the category of mutual fund management shall commence securities business operation after the SEC
in form specified in the SEC’s Notification as published in the Government Gazette. Clause 11 The licensee to operate securities business in the category of private fund management shall commence
and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of penalty to be imposed on the offender. Appeal Any person who is affected by, and